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Showing 381 - 390 of 1606 results for "Investigation"

ASX chief steps down

KARREN VERGARA  |  FRIDAY, 11 FEB 2022
... global pandemic. It also suffered major technical glitches during the ordinary course of trading, leading to an ASIC investigation and the imposition of licence conditions. "ASX continues to invest in contemporary technology to strengthen the quality ...

PE Capital in liquidation

KARREN VERGARA  |  THURSDAY, 10 FEB 2022
... Funds Management will also serve to condemn the past breaches of the Act by PE Capital Funds Management." ASIC's investigation included interviewing Jason Huang (director of PE Capital Asia) and Greg Roberts (director of compliance). Martyn Barnes ...

Former Spaceship chief executive banned

JAMIE WILLIAMSON  |  FRIDAY, 21 JAN 2022
... from providing financial services after ASIC found he had an employee complete AICD assessments on his behalf. The investigation found Paul Kevin Bennetts, who led both Spaceship's managed investments business and super fund for two years, dishonestly ...

JANA hires legal expert from industry fund

KARREN VERGARA  |  WEDNESDAY, 19 JAN 2022
Investment consulting firm JANA appointed a legal expert to lead its risk and compliance division. Lindy Hunt was hired as head of legal, risk and compliance last December, joining from Club Plus Super where she spent the last seven years of her career. ...

Credit Suisse chair resigns

KARREN VERGARA  |  TUESDAY, 18 JAN 2022
... Swiss bank announced overnight that Axel P. Lehmann has taken over as chair effective immediately, following an investigation into incumbent António Horta-Osório's conduct. The board did not elaborate on what the investigation it commissioned was ...

ASIC unveils details of FSCP operations

CHLOE WALKER  |  THURSDAY, 23 DEC 2021
... relation to certain misconduct. ASIC will do this or make a referral to the panel only after it conducts a thorough investigation. This means that not all concerns about the conduct of financial advisers that come to ASIC's attention will result in issuing ...

Longo's ASIC less aggressive: Report

ELIZABETH MCARTHUR  |  FRIDAY, 10 DEC 2021
Despite a flood of litigation following the Royal Commission, a new report from Herbert Smith Freehills says Joe Longo's ASIC is taking a less aggressive enforcement approach than its contemporaries. Herbert Smith Freehills' Global Financial Services ...

ASIC sues ANZ in final civil RC case

JAMIE WILLIAMSON  |  THURSDAY, 9 DEC 2021
... transaction accounts or 'Breakfree' packages in conduct dating back more than two decades. In what is the last investigation to come out of the Royal Commission, ASIC alleges that between the mid-1990s and September 2021, ANZ failed to provide ...

Sydney Airport takeover given green light

JAMIE WILLIAMSON  |  THURSDAY, 9 DEC 2021
... Investors also has holdings in Adelaide Airport and Darwin Airport. However, ACCC chair Rod Sims said the regulator's investigation found there is very little competition between Australian airports and any lessening of competition in the space would ...

APRA tells Christian Super to merge

JAMIE WILLIAMSON  |  TUESDAY, 7 DEC 2021
... bigger, better performing fund by 31 July 2022 and must report to APRA if it fails to do so. The directive follows an investigation into the fund's investment governance and strategic decision-making, APRA said. The conditions are also imposed to ...